Transcript Building Europe Knowledge: Towards the Seventh Framework

Outlook on FP7
2007-2013
Carlos SARAIVA MARTINS
DG RTD - Unit B1
Beijing - June 2006
Legal basis
The Framework Programme (FP) is the main instrument
for funding scientific research and technological
development
Treaty of European Community, (part 3, title XVIII,
art. 166, pag.114) :
The Union shall establish a multi-annual “Framework
programme” for research….
EU research: the story so far

1952:
ECSC treaty; first projects started March 1955

1957:
EURATOM treaty; Joint Research Centre set up

1973:
BCR programme

1983:
ESPRIT programme

1984:
First Framework Programme (1984-1987)

1987:
“European Single Act” - science becomes a Community
responsibility;
Second Framework Programme (1987-1991)

1990:
Third Framework Programme (1990-1994)

1993:
Treaty on European Union;
role of RTD in the EU enlarged

1994:
Fourth Framework Programme (1994-1998)

1998:
Fifth Framework Programme (1998-2002)

2000:
European Research Area

2002:
Sixth Framework Programme (2002-2006)

2005:
Proposal for the Seventh Framework Programme (2007-2013)
Political initiative
ERA = European Research Area

Concept and vision, political initiative by Philippe Busquin
Objectives

New impetus for RTD

RTD as key factor for European innovation

Strengthening the complementarity between Member States
Lisbon strategy
Research
Growth
and Jobs
Education
Innovation
S&T contributes to the Lisbon objectives: economic growth, employment
creation, environmental protection, social challenges: fight poverty, improve
human health and quality of life
Budgets of the EU
Framework Programmes
60
€ Billion
50,5
50
40
30
20
10
13,12
3,27
5,36
14,96
17,5
6,6
0
1984-1987 1987-1991 1990-1994 1994-1998 1998-2002 2002-2006 2007-2013
Why double the FP7 budget?
(EC proposal – 6 April 2005)
– Help exerting leverage on national and private investment
– Help leverage business R&D (EU wide projects, solutions and
market)
– Brings EU public R&D spending close to 1% target
– Encourage Member States Tackle fragmentation of research
– More excellence through EU wide competition
– Achieve critical mass, share knowledge and facilities
– Better dissemination across the EU
– Stronger coordination
FP6 (2002-2006)
Specific Programmes
Focusing and Integrating Community research
“Wider field of Science”
Support to policies
Citizens
Sustainable dev.
Food
Aeronautics
Nanotechnologies.
IST
Genomics
Thematic priorities
NEST
SMEs
International co-operation
JRC
Structuring the ERA
Marie Curie, Research Infrastructures, Science & Society
Strengthening the foundations of the ERA
ERA -Net
FP6 (2002-2006)
Specific Programmes
+
JRC (non-nuclear)
JRC (nuclear)
Euratom
What’s new ?

Substantial annual budget increase

Frontier research (~ EUR 1 billion per year)

Joint Technology Initiatives (JTI)

A Risk-Sharing Finance Facility (loan finance EIB)

Regions Knowledge (regional RTD driven clusters)

Logistical and administrative tasks transferred to
external structures

Duration of 7 years
FP7 2007 - 2013
Specific Programmes
Cooperation – Collaborative research
Ideas – Frontier Research
People – Human Potential
Capacities – Research Capacity
+
JRC (non-nuclear)
JRC (nuclear)
Euratom
FP7 budget
(Non-Nuclear)
Capacities
8.5%
JRC
3.4%
Cooperation
63.9%
People
9.4%
Ideas
14.8%
Cooperation – Collaborative research
FP6
FP7
Cooperation – Collaborative research
Cooperation – Collaborative research

Support will be implemented across all themes through:
Collaborative research
(Collaborative projects; Networks of Excellence; Coordination/support actions)
Joint Technology Initiatives
Coordination of non-Community research programmes
(ERA-NET; ERA-NET+; Article 169)
International Cooperation
“Emerging needs” and “Unforeseen policy needs”
Cooperation – Collaborative research
FP6
FP7
Joint Technology
Initiatives
Hydrogen
and Fuel Cells for a
Sustainable Energy
Future
Global Monitoring
for Environment
and Security
Aeronautics and
Air Transport
Towards new
Nanoelectronics
Approaches
Innovative Medicines
for the Citizens
of Europe
Embedded systems
Long-term
public/private
partnership
Joint Technology Initiatives

May Take the Form of Joint Undertakings –
Article 171 of the Treaty
– “The Community may set up joint undertakings or any other
structure necessary for the efficient execution of Community
research, technological development and demonstration
programmes”
People – Human Potential
Initial training of researchers
Marie Curie Networks
Life-long training and career development
Individual Fellowships
Co-financing of regional/national/international programmes
Industry-academia pathways and partnerships
Industry-Academia Scheme
International dimension
Outgoing International Fellowships; Incoming International Fellowships
International Cooperation Scheme; Reintegration grants
Specific actions
Excellence awards
Capacities – Research Capacity
1.
Research Infrastructures
2.
Research for the benefit of SMEs
3.
Regions of Knowledge
4.
Research Potential
5.
Science in Society
6.
Activities of International Cooperation
Capacities – Research Capacity
Ideas – Frontier
Research

Aims at stimulating creativity and excellence by
funding ‘frontier research’ by ‘individual teams’
competing at European level

“For researchers – by researchers”

Setting-up of a European Research Council (ERC)
Frontier research
 Research at the frontiers is an intrinsically risky
venture
 it is characterised by an absence of disciplinary
boundaries
 We need to avoid outmoded distinctions:
 Between “basic” and “applied” research
 Between “science” and “technology”
 Between “traditional” disciplines
Individual team
 The Principal Investigator (the ‘team leader’) has
 power to assemble his/her research group
regardless of size
 and the freedom to choose the research topic.
 Individual teams should consist of a grouping of
researchers which meets the needs of the project,
without “artificial” administrative constraints; thus
members may be drawn from one or several legal
entities, from either within or across national
boundaries, including third countries
ERC organization
 Scientific Council
 Dedicated implementation structure
Executive Agency
Mid-term review: another structure (?) based
possibly on Article 171
ERC Scientific Council
Founding members were announced on 18 July 2005
following an independent identification procedure:
Lord Patten of Barnes, Chancellor of Oxford and Newcastle
Universities (Chairman)
Dr. Catherine Bréchignac, Director, Institut d’Optique, Université
Paris Sud ( CNRS)
Prof. Jüri Engelbrecht, Vice-President of the Estonian Academy of
Sciences
Prof. Guido Martinotti, Facoltà di Sociologia Università degli Studi
di Milano-Bicocca
Prof. Erwin Neher, Director, Max-Planck-Institut für
biophysikalische Chemie, Göttingen
ERC Scientific Council
A. Organisations consulted by the Identification Committee
-
- Academia Europaea (organisation representing individual scientists and scholars)
- ALLEA (All European Academies)
- EARTO (European Association of Research and Technology Organisations)
- EASAC (European Academies' Science Advisory Council)
- ESF (European Science Foundation)
- EIRMA (European Industrial Research Management Association)
- EUA (European University Association)
- EUROHORCs (European Heads of Research Councils)
UNICE (Union des industries de la CE), Working Group “Research and Innovation”.
B. Other organisations that sent nominations
- Biosciences Federation
- CBI Confederation of British Industry
- COSCE (Confederation of Scientific Societies of Spain)
- EAESP (European Association of Experimental Social Psychology)
- EASD (European Association for the study of Diabetes)
- EATCS (European Association for Theoretical Computer Science)
- EEA (European Economic Association)
- EFIS (European Federation of Immunological Societies)
EFOMP (European Federation of Organisations for Medical Physics)
Expression
-
- ESO (European Southern Observatory)
- EuCheMS (European Association for Chemical and
Molecular Sciences)
- EURADIA (European Research Area in Diabetes)
- EURADIA (European Research Area in Diabetes)
- EUROSCIENCE
- FENS (Federation of European Neuroscience Societies)
- Fundación Ramón Areces
- IADR (International Association for Dental Research)
- Institusjonen Fritt Ord (the Freedom of
EMBO (European Molecular Biology Organization)
- EMS (European Mathematical Society)
ENII The European Network of Immunology Institutes
ENSA (European Neutron Scattering Association)
- EOS (European Optical Society)
- EPFL (Ecole Polytechnique fédérale de Lausanne)
- EPS (European Physical Society)
- EPSO (European Plant Science Organisation)
- ERCIM (European Research Consortium for Informatics and Mathematics)
- ESHG (European Society of Human Genetics)
- Estonian Academy of Sciences
- JET (Joint European Torus - Nuclear fusion)
- MCFA (Marie Curie Fellowship Association)
- Slovak Nuclear Society
- The Bank of Sweden Tercentenary Foundation
- The Hague Club
- UK Research Councils
ERC Scientific Council
 Founding members were announced on 18 July 2005
following an independent identification procedure
 Working in advance of the FP7 decision in the
development phase of the ERC
 22 Members
 Chair: Fotis Kafatos
 Vice Chairs:
Helga Nowotny
Daniel Estève
ERC SC – The 22
Founding Members
Dr. Claudio BORDIGNON (IT)
Prof. Norbert KROO (HU)
Prof. Manuel CASTELLS (ES)
Prof. Maria Teresa V.T. LAGO (PT)
Prof. Dr. Paul J. CRUTZEN (NL)
Dr. Oscar MARIN PARRA (ES)
Prof. Mathias DEWATRIPONT (BE)
Prof Robert MAY (UK)
Dr. Daniel ESTEVE (FR)
Prof. Helga NOWOTNY (AT)
Prof. Pavel EXNER (CZ)
Prof. Christiane NÜSSLEIN-VOLHARD
(DE)
Prof. Dr. Hans-Joachim FREUND (DE)
Prof. Wendy HALL (UK)
Prof. Dr. Car l- Henrik HELDIN (SE)
Prof. Dr. Fotis C. KAFATOS (GR)
Prof. Dr. Michal KLEIBER (PL)
Dr. Leena PELTONEN-PALOTIE (FI)
Prof. Alain PEYRAUBE (FR)
Dr. Jens R. ROSTRUP-NIELSEN (DK)
Prof. Salvatore SETTIS (IT)
Prof. Dr.med. Rolf M. ZINKERNAGEL
(CH)
ERC Scientific Council
 High level scientists reflecting the full scope of
European research, nominated by Commission
decision
 Role:
Establish overall scientific strategy, preparation of work
programmes (including calls for proposals, detailed
criteria of excellence, …)
Define peer review methodology; ensure selection and
accreditation of experts
Monitor quality of operations and evaluate programme
implementation
Assure communication with the scientific community
ERC Dedicated Implementation
Structure
 Execute work programme as established by the
Scientific Council
 Implement calls for proposals (information and
support to applicants; proposal reception/eligibility
check; etc.)
 Organise peer review evaluation
 Establish grant agreements, transfer funds
 Administer scientific and financial aspects and
follow-up of grant agreements
The European Commission’s duties
 Guarantor of the autonomy and integrity of the ERC
 Ensure that implementation follows principles of
autonomy
 Adopt work programme as established by the Scientific
Council
 Provide annual report on ERC operations to Council
and European Parliament
Specific programme “Ideas”:
Innovations compared with
“standard” FP programmes
 Support to individual teams
 Investigator-driven frontier research
 All areas of science and technology
 Simplified grant
 100% reimbursement
 Independent scientific governance
(Scientific Council)
 Dedicated implementation structure
(Executive Agency)
Two Funding Streams:
 ERC Starting Grant (< 10 years from PhD)
 ERC Advanced Grant
- Operating on a bottom-up basis
- Not duplicating other FP7 activities
- Two-step procedure
- 100 k€ - 400 k€ for up to 5 years
Evaluation criteria
The exact definition of criteria and the
relative weighting is not yet established
but basically excellence will be the sole
criterion, possibly a blend of:
 the potential of the people (and their
track record)
Excellence of the project
Peer review process
Scientific Council will set parameters and
oversee the process.
 Excellence and transparency are key
principles
 Permanent pool of accredited peer
reviewers needed (= World’s best
scientists and scholars)
 High throughput, quasi-continuous
processes may be necessary
Evaluation methodology
(not definitive)
 Approximately 15 high level panels
(assisted by referees)
 Each panel will have a highly respected
Chair and 10 members
 One member of the SC will attend each
panel’s meeting as observer
 The selection of the panel chairs and the
structure of the panels under SC
responsibility
 Cross-disciplinarity proposals considered
by two different panels
FP7 Participation rules
(adopted 23.12.05)
Basis for Funding:
• Reimbursement of eligible costs
• Flat rates
• Lump sum amounts
Maximum funding rates
• Research and technological activities – 50% of eligible costs
Except:
• Public bodies, universities, non-profit organisations – 75%
• SMEs – 75%
• Demonstration activities – 50% of eligible costs
• Frontier research actions (ERC) – 100%
• Coordination and support actions – 100%
• Training and career development of researchers actions – 100%
European Strategies
For
International Research Cooperation
Aim of EU research (I):

Support European competitiveness through strategic
partnerships with third countries in selected fields of
science

Address specific problems facing third countries on
the basis of mutual interest and mutual benefit

Address global challenges within the Communities
international commitments

Use S&T cooperation to reinforce the Community’s
external relations and other relevant policy
Aim of EU research (II):

More than ever we have no other choice than to work
together to tackle universal concerns without
boundaries.

Cooperation shortens the path leading from science to
innovation and from knowledge to solutions. We need
to share information, knowledge, practices and results

Need to carry out better research
FP7 – Participating countries
Full participants of FP7
MEMBER STATES
Candidate Countries
ASSOCIATED
COUNTRIES
ACC
(TR, BU, RO, HR)
NON-ASSOCIATED
CANDIDATE COUNTRIES
INDUSTRIALISED
COUNTRIES
INTERNATIONAL
COOPERATION
PARTNER
COUNTRIES
Third Countries
International Scientific
Cooperation
Third Countries:
Industrialised countries (US, Canada, Japan,..)
Associated countries (Norway, Switzerland, Israel, …)
International Cooperation Partner Countries (ICPC):

Mediterranean partner Countries

Western Balkans

Eastern European and Central Asian countries

ACP, ASIA, Latin America
(Emerging economies (e.g. China, India, Brazil, Russia, South Africa))
International Scientific
Cooperation
ICPC
ICPC is a third country which the Commission
classifies as low-income, lower-middle-income or
upper-middle-income country and which is
identified as such in the work programmes
International Cooperation
in Cooperation
-
Opening of all themes to third countries
-
Specific International Cooperation actions
in themes
International Cooperation
in IDEAS/ERC

The ERC should be integrated into the world-wide
research scene

Participation of co-investigators from ICPC decided
by the principal investigator justified on the basis
of added scientific value (excellence)

Payment of co-investigators from ICPC countries
on basis of mutual scientific benefit (or according
to relevant concluded agreements)
International Cooperation
in IDEAS

Cooperation with scientists from ICPC countries
is expected simply because that is what
scientists do – naturally, spontaneously and,
often, effectively

The flow of ideas does not know of any national
frontiers and scientists cooperate and compete
at the same time

ICPC participation is welcome providing this will
help the individual team to compete for
excellence, for recognition and for results.
International Cooperation
in PEOPLE

International outgoing fellowships

International incoming fellowships

Partnerships to support exchange of researchers

Support of common initiatives between European
organizations and countries with S&T agreements

Measures to counter the risk of ‘brain drain’ from
developing countries/emerging economies
International Cooperation
in Capacities
1. Policy Dialogue
2. S&T Cooperation Partnerships
3. Coordination of National Policies & Activities
1. Mapping of research needs, building commitment, impact
assessments, linking S&T to other policies
2. Involvement of industrial and economic operators, specific
focused international activities
3. Set common goals, strategies and policies, use of S&T
inputs in foreign, trade and development policies
Towards the Seventh Framework
Programme
2007-2013 (“co-decision”)
Commission opinion
on EP amendments
Direct approval if agreement with EP
New !
Consultations (online etc)
Council 2
CREST
4
5
(within 3 months)
Commission
Proposal
Opinion
Common
position
Amendments
(approval within
6 weeks)
Conciliation:
joint text
Adoption
(absolute majority
of members)
FP evaluations
European
Research
Advisory Board
(approval within
6 weeks)
(within 3 months)
1
3
4
European Parliament
Council decides by qualified majority except on EP amendments
not approved by the Commission
5
FP7 Timetable
6 April 2005
Commission’s proposal
21 September 2005
Specific programmes’ proposal
Nov 2005
FP7 partial agreement at Council
23 December 2005
Rules for the participation
June 2006
FP7 plenary vote at EP
July 2006?
Council and EP common position
July 2006?
September 2006?
Oct 2006 ?
Nov 2006 ?
Dec 2006?
Dec 2006?
December ?
Fev 8-9, 2007
March 7-18, 2007
Council – political agreement SPs
EP starts 2nd reading
Commission – adoption of WPs
Council Decision
Adoption of FP7
First calls for proposals
Launch Conference Multipliers
Symposium on Science
Public exhibition on EU research
Information

ERC Scientific Council: http://erc.europa.eu

EU research: http://europa.eu.int/comm/research

EU Basic Research Policy:
http://ec.europa.eu/research/future/basic_research/index_en.html

Seventh Framework Programme:
http://europa.eu.int/comm/research/future/index_en.cfm

Information on research programmes and projects:
http://www.cordis.lu

International Scientific cooperation policy:
http://europa.eu.int/comm/research/iscp

Information requests:
[email protected]
The
End
Directorate-General for Research
“Anticipation of Scientific and
Technological Needs: Fundamental
Research”
[email protected]